m12 susan goldsmith executive, susan.goldsmith@gmc …...council meeting, 23 february 2017 agenda...

Council meeting, 23 February 2017

Agenda item: M12

Report title: Report of the Performance and Resources Board 2016

Report by: Susan Goldsmith, Chief Operating Officer and Deputy Chief Executive, [email protected], 020 7189 5124

Considered by: Performance and Resources Board

Action: To note

Executive summary This report summarises the work undertaken by the Performance and Resources Board during 2016. Significant issues considered by the Board include: a Change Programme. b Operational Performance and Risk review. c Human Resources issues. d 2016 Information Systems Plan. e Strategic Communications Programme Board. f Options for delivering Performance Assessment tests of competence. g Mobile apps. h Welsh Language Standards. i GMC Services International.

Recommendation Council is asked to note the Report of the Performance and Resources Board 2016.

mailto:[email protected]

Council meeting, 23 February 2017Agenda item M12 – Report of the Performance and Resources Board 2016

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Background

1 The purpose of the Performance and Resources Board (PRB) is to provide an advisory forum that brings together a range of management information to support decision-making and reporting to Council by the Chief Operating Officer. The Board’s remit covers all elements of organisational performance and resource management and its Statement of Purpose is at Annex A.

2 Council has received regular updates on the Board’s work during 2016 through the Chief Operating Officer’s report. This is a standing item on each Council meeting’s agenda and offers an opportunity for the Chief Operating Officer to provide a commentary on the organisation’s operational performance and progress on Council’s priorities.

3 The Board has held six ordinary meetings during 2016 (on 21 January, 1 March, 14 April, 23 June, 27 September and 1 November) and also considered one issue on circulation between meetings. The Board has also held 11 closed session meetings (on 21 January, 1 March, 16 March, 14 April, 23 May, 23 June, 13 July, 27 September, 17 October, 1 November and 5 December) which were dedicated to consideration of the Change Programme. These meetings were held in closed session as the business discussed related to confidential matters, including risk analysis and mitigation and matters affecting staff members.

4 This paper highlights some of the key matters considered by the Board during 2016. The Board has also received reports and updates on a number of other issues, which are listed at Annex B.

Change Programme

5 The Board held 11 dedicated closed sessions on the Change Programme, during which it has monitored and reviewed progress in delivering the programme’s objectives, portfolios and projects, and managed programme risk.

6 This has included:

a Reviewing operational Human Resources and accommodation policies.

b Ensuring appropriate reporting and effective financial and non-financial controls for activities within the Change Programme, including to the Audit and Risk Committee and Council.

c Assessing capacity and resource efficiency.


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d Ensuring that the organisation is operationally fit and adequately resourced to deliver the Change Programme and that there are effective quality assurance processes within the Programme’s supporting structures.

e Ensuring that equality and diversity was integrated into the GMC’s delivery of the Change Programme.

7 The final PRB closed session on the Change Programme will take place on 15 February 2017 to review the risk register and decide onward management actions for remaining portfolios.

Operational Performance and Risk Review

8 The Board has considered high level reports of our performance and information on corporate risks and mitigations at each of its meetings. These have provided updates on the major external factors which might have an effect on our operational performance, our performance against our Operational Plan and Strategic Aims, and our key performance indicators and targets.

9 Robust discussion on potential emerging risks has also been a feature of each meeting. The Board considers any changes in both the external and internal environment and mitigating actions which may be needed as well as where monitoring is required, either through the Corporate Risk Register or through a specific directorate.

10 Council has been updated throughout the year on corporate risks, and by exception, on significant issues potentially affecting operational performance and the delivery of our operational plan through the Chief Operating Officer’s report to Council which also reports major decisions made by PRB. The Audit and Risk Committee has been updated at each of its meetings on risk issues and changes to the Corporate Risk Register.

Human Resources issues

11 The Board has considered regular updates on Human Resources (HR) issues. The Board considered: the development of updated guidance and equality analysis for the recruitment policy; the conclusion of the tendering process for a preferred supplier list of recruitment agencies; the legal advice received on the calculation of sick pay; the change in statutory redundancy rates; the introduction of online corporate training; the 2016 pay award; an update on the Learning and Development Programme; pension reform; the 2015 triennial valuation and a review of the Whistleblowing Policy. The Board agreed on the updated Whistleblowing policy, which was be reported to Audit and Risk Committee at its meeting on 11 July 2016. The


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Board has also reviewed HR monitoring data, including workforce ethnicity and diversity data.

2016 Information Systems Plan

12 The Board considered and approved the 2016 Information Systems Plan which comprised of 110 projects. It noted the key areas of focus for 2016 were the Digital Media Strategy, the Standards app, two Siebel releases to support the proposed projects, the Data Strategy, including the implementation of the Agora database and reporting system and the development and launch of the UK Medical Education Database, a new National Trainer survey, development of online training, infrastructure upgrades and replacement of some systems.

Strategic Communications Programme Board

13 The Board considered a proposal to establish a Strategic Communications Programme Board to oversee the Digital Media Strategy, Customer Service Strategy, List of Registered Medical Practitioners project and Communications Engagement Strategy, and agreed the terms of reference. It noted that the appointment of the preferred Content Management System (CMS) and delivery partner had been undertaken as part of the procurement process.

Options for delivering Performance Assessment tests of competence

14 The Board considered a proposal to bring assessments of a doctor’s knowledge and skills in-house, and approved the initiation of a project to explore the preferred option and stop the research element of the work. The Board also agreed that further work would be undertaken to consider the potential for joint working and governance as part of the Performance Assessment, Revalidation Assessment and Medical Licensing Assessment projects.

Mobile apps

15 The Board noted updates on progress with work to develop and deliver the GMC Standards app. It noted that a revised timeline had been agreed with a soft launch planned for November 2016 and a full launch due in December 2016. It noted that initial scoping for phase two had begun which included a review of suggestions put forward by users who tested My GMP and the addition of new functionality.

Welsh Language Standards

16 The Board considered an update on the timetable for implementing Welsh Language Standards and progress against the Welsh Language Standards Action Plan across the organisation. In April 2016, the Board noted that each directorate now had a lead for


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the implementation of the Welsh Language and that all directorates had submitted bids for Welsh language translation. It noted that fitness to practise disclosure letters would be amended to include an offer of translation by June 2016 and the Contact Centre would be offering a phone translation service which was due to trialled in May 2016.

GMC Services International

17 The Board considered regular updates on the development of GMC Services International; the objective of which is to introduce revenue streams and thus reduce the reliance on traditional and limited financial resources. The Board agreed a draft Overseas Assignment Policy and additional accompanying guidance for staff that may be deployed overseas via the trading subsidiary to ensure that legal obligations are met.

Equality and Diversity Progress Report

18 The Board will receive an update on progress in delivering our Equality and Diversity (E&D) Strategy and on the work of the E&D Programme Board at its meeting on 1 March 2017.


M12 – Report of the Performance and Resources Board 2016

M12 – Annex A

Statement of Purpose of the Performance and Resources Board

Purpose

The purpose of the Performance and Resources Board is to provide a forum for reviewing operational performance and organisational capacity, as part of the GMC’s formal executive governance arrangements.

The Performance and Resources Board is an advisory forum that brings together a range of management information to support decision-making and reporting to Council by the Chief Operating Officer.

The remit of the Board covers all elements of organisational performance and resource management.

Duties and activities

The Performance and Resources Board:

Proposes and monitors business and operational plans, ensuring appropriate management reporting and review of performance against targets, forecasts and intended outcomes

Proposes and monitors all aspects of budget management (including budget setting; recommendations on fees for entry to, retention on and restoration to the Medical Register; proposing other fees and charges as delegated by Council; proposing financial policies, including those for reserves and investment)

Ensures appropriate reporting and effective financial controls, advising and reviewing (for approval by Council) the financial regulations which set standards for, and provide guidance on, administration of the GMC’s financial affairs

Council meeting, 23 February 2017 Agenda item M12– Report of the Performance and Resources Board 2016

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Maintains, monitors and reports on risk management and related controls

Assesses capacity and resource efficiency, ensuring that the organisation is operationally fit for purpose and has effective quality assurance processes

Inputs to strategy development to maintain capacity (including finance, HR, IT, procurement and accommodation/estate management) ensuring that the GMC is adequately resourced to achieve its aims

Reviews and where necessary develops operational policies that support delivery of the GMC’s aims (including finance, HR, IT, procurement and accommodation policies)

Takes resource decisions in the execution of these strategies within the constraints of the annual business plan and budget

Ensures that equality and diversity is integrated into the GMC’s core activities, monitoring action plans and compliance with the equality duty

Reports to Council via the COO report on Human Resources issues relating to the GMC’s role as employer. This includes (but is not limited to) matters such as: workforce data (including data relating to equality and diversity issues), data relating to vacancies, turnover and recruitment (including data relating to equality and diversity issues), patterns in sickness absence, numbers of disciplinary and grievance cases, arrangements for staff training and development, staff benefits, health & safety matters, and any changes to HR policies and procedures

Assesses resource impact of in-year changes to planning assumptions (e.g. caused by unexpected events such as a public inquiry or higher than forecast increase in FtP cases)

Takes decisions and oversees actions relating to remuneration, benefits and terms of service of staff (other than the CE, COO, Senior Medical Adviser and Responsible Officer and Directors, and MPTS Chair and MPTS Advisory Committee members) where there are significant contractual, legal or resource implications; expenses policies for all staff; and contractual arrangements and expenses policy for associates. Also supports as necessary decisions by the Remuneration Committee on expenses policy for Council members

Exercises any of the rights, powers, duties and discretion of the GMC under any staff pension scheme

Oversees delivery of large scale change programmes/projects and efficiency/effectiveness programmes

Monitors long-term performance and undertakes horizon scanning

Council meeting, 23 February 2017 Agenda item M12– Report of the Performance and Resources Board 2016

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Oversees inputs to the GMC’s annual performance review by the Professional Standards Authority

Oversees the preparation of the trustees’ annual report and accounts.

Working arrangements

The Performance and Resources Board meets every other month (alternating with the Strategy and Policy Board), for two hours. The executive lead for the Performance and Resources Board is the Chief Operating Officer. The Chief Operating Officer agrees the agenda and papers are agreed by the sponsoring Director. Papers should follow the style of Council papers as far as possible, with the same principle of above or below the line review. Papers relating to a decision being made will be published (unless commercially sensitive). Papers in relation to issues in early stages of discussion will not be published.

The Board is chaired by the Chief Operating Officer and attended by all Directors and the Senior Medical Adviser and Responsible Officer, but not the Chief Executive (although conclusions are summarised for discussion between the Chief Operating Officer and Chief Executive, and any conclusions that lead to a recommendation to Council are considered for approval by the Chief Executive). Other attendees are invited as required for the discussion of agenda items. The responsibilities of some Assistant Directors mean that they are likely to be in regular attendance. All Assistant Directors are encouraged to attend the Board from time to time, to contribute to its activities and help facilitate cross-directorate working, corporate leadership and linkages.

Secretariat duties are undertaken by the Governance Team. The Board Secretary minutes each meeting and aims to circulate the minutes, as cleared by the Chief Operating Officer, to Directors and the Senior Medical Adviser and Responsible Officer for comments within two weeks of the meeting. The Board approves minutes at the next Board meeting. Minutes record the conclusions of the Board on the issues considered and will be cascaded to Assistant Directors. A record of decisions will be published (unless commercially sensitive).

As the Board meets bi-monthly, decisions may be taken between meetings on circulation of recommendations to the Chief Operating Officer as the Board’s chair (and any subsequent consideration by the Chief Executive). Decisions made in this way will be brought to the Board at its next meeting and included in the record of decisions (with redaction for publication if commercially sensitive).

The Performance and Resources Board reports to Council via the Chief Operating Officer’s report and submits an annual report to Council.


M12 – Report of the Performance and Resources Board 2016

M12 – Annex B

Reports and updates considered by the Performance and Resources Board

Introduction

1 This annex provides further detail regarding the other reports and updates received by the Board during 2016, which are not covered in the main report.

Other reports considered

2016 Pay Award

2 The Board considered options for the 2016 pay award, including performance related progression for staff, they agreed on a pay matrix based on a 1% basic award and performance related progression for a successful employee in the middle zone.

Criminal background checks

3 The Board considered an update on the GMC’s current arrangements for Disclosure and Barring Service checks, and agreed in principle to extend the rechecking period for basic criminal background checks to every four years.

Data Strategy Update

4 The Board considered an update on progress with work undertaken by the Data Strategy Programme during 2016, the development of a Central Analytics Team and an Intelligence Model, the delay of the external release of Agora reports until Quarter 1 of 2017 and the Data Strategy deliverables for 2017.

2016 Operational Plans

5 The Board noted an update on the 2016 Operational Plans as agreed by Council at its meeting on 10 December 2015, including the approach to monitoring and reporting against the plans.

Council meeting, 23 February 2017 Agenda item M12 – Report of the Performance and Resources Board 2016

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GMC Overseas Visits Programme 2016

6 The Board considered and approved the proposed reforms to the GMC overseas visits programme for 2016. The Board noted that the reforms would help to ensure that the GMC managed the impact on business capacity arising from the increasing number of overseas visits and that potential commercial opportunities were identified and taken forward.

Non-Annual Retention Fee fees – Second revalidation assessment

7 The Board considered the arrangements that would apply to doctors without a prescribed connection who failed to reach the required standard in the first revalidation assessment and the fee that should be charged. The Board agreed to introduce a fee for second revalidation assessments, on a full cost recovery basis, of £2,350.

Calculating Fitness to Practise case age data

8 The Board considered proposed amendments to the dates from which the GMC’s case age data is calculated and in the approach to external reporting. It agreed to liaise with the Professional Standards Authority for Health and Social Care (PSA) to seek its views on all three proposals contained within the paper. It noted that subject to the outcome of discussions with the PSA, that when reporting on data externally, both doctors within our fitness to practise processes and cases should be counted. Case age data should be based on the oldest case for each doctor.

Fitness to Practise Annual Statistics Report 2015 and analysis

9 The Board endorsed the Fitness to Practise Statistics Report 2015 for approval by Council. It noted that there had been an increase in the number of cases being referred to panel in 2015.

Trustees’ annual report and accounts 2015

10 The Board considered and endorsed the draft Trustees’ Annual Report and Accounts 2015 for consideration by the Audit and Risk Committee and approval by Council.

Reducing Costs Portfolio – Flexible Working options

11 The Board considered an analysis of feedback from staff on existing flexible working arrangements and proposed next steps for developing accommodation and flexible working practices as work was relocated from London to Manchester.

Four-country working

12 The Board considered an update on options to further develop the GMC’s position as a four-country regulator, agreeing that further consideration would be given to options for increasing the organisation’s focus on policy developments in England and further work would be undertaken to develop country-specific data.


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Digital Media Strategy update

13 The Board considered an update on the Digital Media Strategy, including the procurement of a new Content Management System (CMS) and technology delivery partner including a road map for delivery of the new register, website and associated portals. The Board agreed the high level requirements to be used as a basis for selecting the new digital platform.

Proposed Policies for handling vexatious complaints and unreasonable behaviour

14 The Board considered and approved the rationale for adopting a Vexatious Complaints Policy and an Unreasonable Behaviour Policy, subject to a full equality and diversity review being undertaken.

Cyber security incident response plan

15 The Board considered and noted the new Cyber Security Incident Response Plan and noted that this paper would be withheld from publication on the external website.

Reducing regulatory burden

16 The Board considered an update on opportunities for reducing regulatory burdens and agreed the Regulation Policy team would report on work to coordinate and promote this and to embed the principle of reducing regulatory burden into business planning and core operations.

New schools and programmes application work stream

17 The Board considered the implications of an increase in the number of proposals for new (mostly private) medical schools and overseas programmes and the impact this is causing on resources. The Board noted that there were significant resource implications for the GMC given the regulatory burden for quality assuring new medical schools and overseas campuses which would require additional resources to address. Unless legislative change was secured, the GMC would continue to be legally required to quality assure the overseas campuses of UK universities. Consideration would be given to further engagement with the Department of Health on the potential for legislative change, as this situation could not have been intended when the Medical Act was passed.

Draft business plan and budget 2017

18 The Board considered updates at its September and both its November meetings on the development of the draft business plan and budget 2017. The Board noted that the GMC had spent less than expected during 2016, partly due to the Change Programme and that a number of staff had left the GMC earlier than expected.


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Contact Centre Service Level Agreement changes

19 The Board considered options for changing the contact centre service level agreements (SLAs) for responding to calls and emails. The Board agreed to change the call and email SLAs and noted that there would be opportunities to reduce demand on the Contact Centre through the Digital Media Strategy; however it was likely that the SLAs would need to be resourced at the current level for a two-year period.

EFQM Rollout Strategy

22 The Board considered an update on the strategy for rolling out the European Foundation for Quality Management (EFQM) approach across the organisation. The board approved the second phase of the European Foundation for Quality management plan and agreed that the second phase should be completed by the end of Quarter 2 2017 to support the new Corporate Strategy.

m12 susan goldsmith executive, susan.goldsmith@gmc …...council meeting, 23 february 2017 agenda...

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